海通证券股份有限公司 关于绍兴中芯集成电路制造股份有限公司 首次公开发行网下配售限售股上市流通的核查意见 海通证券股份有限公司（以下简称"海通证券"或"保荐机构"）作为绍兴 中芯集成电路制造股份有限公司（以下简称"中芯集成"或"公司"）首次公开 发行股票并在科创板上市及持续督导的保荐人，根据《证券发行上市保荐业务管 理办法》《上海证券交易所科创板股票上市规则》《上海证券交易所科创板上市 公司自律监管指引第 1 号——规范运作》等有关规定，对公司首次公开发行网下 配售限售股上市流通事项进行了核查，具体情况如下： 一、本次上市流通的限售股类型 经中国证券监督管理委员会《关于同意绍兴中芯集成电路制造股份有限公司 首次公开发行股票注册的批复》（证监许可[2023]548号），并经上海证券交易 所同意，绍兴中芯集成电路制造股份有限公司（以下简称"本公司"或"中芯集 成"）首次向社会公开发行人民币普通股（A股）169,200万股（行使超额配售选 择权之前），并于2023年5月10日在上海证券交易所科创板挂牌上市。本公司首 次公开发行A股前总股本为507,600万股，首次公开发行A股后总股本为676,800 万股（行使超额 ...

Financial Performance - The company's revenue for Q3 2023 reached ¥1,311,656,435.83, representing a year-on-year increase of 16.15%[4] - The net profit attributable to shareholders for Q3 2023 was -¥252,436,054.12, with a year-to-date net profit of -¥1,361,009,649.55[5] - Total operating revenue for the first three quarters of 2023 reached CNY 3,831,546,831.51, an increase from CNY 3,159,905,658.48 in the same period of 2022, representing a growth of approximately 21.2%[20] - The net profit for the first three quarters of 2023 was reported as CNY -3,444,601,176.32, compared to a profit of CNY 2,083,591,526.77 in the same period of 2022, indicating a significant decline[18] - The net profit for Q3 2023 was -1,973,537,084.78 CNY, compared to -1,211,971,320.42 CNY in Q3 2022, indicating a significant increase in losses[21] - The total comprehensive income for Q3 2023 was -1,973,537,084.78 CNY, with the loss attributable to shareholders of the parent company at -1,361,009,649.55 CNY[22] Cash Flow and Liquidity - The operating cash flow for the year-to-date period increased by 399.12% to ¥1,972,392,451.22, primarily due to increased cash receipts from sales and government subsidies[9] - Cash flow from operating activities for the first three quarters of 2023 was 1,972,392,451.22 CNY, a substantial increase from 395,172,851.51 CNY in the same period of 2022[24] - The company's cash and cash equivalents as of September 30, 2023, amount to ¥4,765,765,420.64, an increase from ¥1,712,861,332.55 in the previous year[16] - The cash and cash equivalents at the end of Q3 2023 amounted to 4,596,594,173.31 CNY, up from 1,261,345,724.88 CNY at the end of Q3 2022[25] - The total cash inflow from financing activities in Q3 2023 was 18,672,803,037.33 CNY, compared to 9,744,086,473.17 CNY in Q3 2022[25] - The net cash flow from investing activities for Q3 2023 was -8,095,782,422.15 CNY, compared to -7,863,178,516.70 CNY in Q3 2022, indicating continued investment outflows[24] Assets and Liabilities - Total assets at the end of Q3 2023 were ¥34,767,610,540.13, reflecting a 34.45% increase from the previous year-end[10] - Total liabilities as of the end of the third quarter of 2023 were CNY 18,021,228,689.52, a decrease from CNY 18,753,439,973.12 in the previous year, indicating a reduction of approximately 3.9%[18] - The company's total non-current liabilities amounted to CNY 9,093,993,367.07, down from CNY 9,955,484,491.45 in the previous year, representing a decrease of about 8.7%[18] - Total current assets as of September 30, 2023, are ¥8,935,364,394.01, compared to ¥6,514,998,399.57 in the same period last year, reflecting a growth of approximately 37%[16] - Inventory as of September 30, 2023, is ¥2,462,439,438.08, up from ¥2,103,448,126.17 in the previous year[16] Shareholder Information - The total number of common shareholders at the end of the reporting period is 228,121[11] - The largest shareholder, Shaoxing Yuecheng Integrated Circuit Industry Fund, holds 1,152,000,000 shares, accounting for 16.36% of total shares[11] - The top ten shareholders hold a significant portion of shares, with the top three alone accounting for over 33% of total shares[11] - There are no reported changes in the status of shares held by major shareholders, indicating stability in ownership[11] Research and Development - R&D expenses for Q3 2023 totaled ¥391,769,261.22, a 77.04% increase compared to the same period last year, accounting for 29.87% of revenue[5] - Research and development expenses for the first three quarters of 2023 amounted to CNY 1,041,674,134.15, compared to CNY 606,581,240.19 in the same period of 2022, reflecting a significant increase of approximately 71.7%[20] Other Information - The company has not disclosed any new product developments or market expansion strategies in this report[3] - The company has not provided specific future guidance or performance outlook in the current report[14] - The company reported a significant increase in government subsidies, amounting to ¥226,279,490.71 for the year-to-date period[6]

绍兴中芯集成电路制造股份有限公司 关于召开2023 年第三季度业绩说明会的公告 重要内容提示： 证券代码：688469 证券简称：中芯集成 公告编号：2023-034 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导性陈述或 者重大遗漏，并对其内容的真实性、准确性和完整性依法承担法律责任。 https://eseb.cn/198J1sizuhy 或使用微信扫描下方小程序码进行会前提问，公司 将通过本次业绩说明会，在信息披露允许范围内就投资者普遍关注的问题进行回 答。 绍兴中芯集成电路制造股份有限公司（以下简称"公司"）将于 2023 年 10 月 28 日发布公司 2023 年第三季度报告，为便于广大投资者更全面深入地了解公司 2023 年第三季度经营成果、财务状况、发展战略等情况，公司定于 2023 年 11 月 06 日（星期一）15:00-16:30 在"价值在线"（www.ir-online.cn）举办绍兴中芯 集成电路制造股份有限公司 2023 年第三季度业绩说明会，与投资者进行沟通和交 流，广泛听取投资者的意见和建议。 会议线上交流时间：2023 年 11 月 06 日（星期一）15: ...

关于绍兴中芯集成电路制造股份有限公司 为控股子公司申请项目贷款提供担保的核查意见 海通证券股份有限公司（以下简称"海通证券"或"保荐人"）作为绍兴中 芯集成电路制造股份有限公司（以下简称"中芯集成"或"公司"）首次公开发 行股票并在科创板上市及持续督导的保荐人，根据《证券发行上市保荐业务管理 办法》《上海证券交易所科创板股票上市规则》《上海证券交易所科创板上市公 司自律监管指引第 1 号——规范运作》等有关规定，对公司为控股子公司申请项 目贷款提供担保事项进行了核查，具体情况如下： 一、担保情况概述 （一）基本情况 公司于2023年5月31日第一届董事会第十四次会议审议通过了《关于签订< 投资协议>暨对外投资的议案》，由公司控股子公司中芯先锋集成电路制造（绍 兴）有限公司（以下简称"中芯先锋"）作为实施主体，投资42亿元建设"中芯 绍兴三期12英寸特色工艺晶圆制造中试线项目"，其中注册资本金为30亿元，银 行贷款为12亿元。 海通证券股份有限公司 经中芯先锋2023年第二次临时股东会审议通过，中芯先锋于2023年10月19 日更名为芯联先锋集成电路制造（绍兴）有限公司（以下简称"芯联先锋"）， 并已获取由绍兴 ...

独立意见 绍兴中芯集成电路制造股份有限公司 独立董事关于第一届董事会第十七次会议 绍兴中芯集成电路制造股份有限公司 相关事项的独立意见 根据《中华人民共和国公司法》《公司章程》等相关法律法规和公司制度的 规定,作为绍兴中芯集成电路制造股份有限公司(以下简称"公司")的独立董事， 我们对公司 2023 年 10 月 27 日召开的第一届董事会第十七次会议审议的相关议 案进行了认真的核查,现就本次会议相关议案发表如下独立意见: 一、关于为控股子公司申请项目贷款提供担保的议案的独立意见 独立董事认为:芯联先锋为本公司控股子公司,对子公司的银行贷款提供担 保,确保子公司经营与管理中资金的需求,并通过与政策性银行的合作,有效降 低资金成本,有利于公司经营业务的持续稳定发展，符合公司整体发展的需要。 上述担保事项决策程序符合相关规定，不存在损害公司及全体股东利益的情况。 综上,独立董事同意公司为控股子公司申请银行贷款提供担保的事项。 (本页以下无正文) 绍兴中芯集成电路制造股份有限公司 独立意见 （本页无正文,为《绍兴中芯集成电路制造股份有限公司独立董事关于第一届董 事会第十七次会议相关事项的独立意见》之签署页） 独立董 ...

证券代码：688469 证券简称：中芯集成 公告编号：2023-033 绍兴中芯集成电路制造股份有限公司 关于为控股子公司申请项目贷款提供担保的公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导 性陈述或者重大遗漏，并对其内容的真实性、准确性和完整性依法承担法 律责任。 重要内容提示: （一）基本情况 公司于 2023 年 5 月 31 日第一届董事会第十四次会议审议通过了《关于 签订<投资协议>暨对外投资的议案》，由公司控股子公司中芯先锋集成电 路制造（绍兴）有限公司（以下简称"中芯先锋"）作为实施主体，投资 42 亿元建设"中芯绍兴三期 12 英寸特色工艺晶圆制造中试线项目"，其中 注册资本金为 30 亿元，银行贷款为 12 亿元。 经中芯先锋 2023 年第二次临时股东会审议通过，中芯先锋于 2023 年 10 月 19 日更名为芯联先锋集成电路制造（绍兴）有限公司，并已获取由绍 兴市越城区市场监督管理局换发的营业执照。 1 被担保人名称：芯联先锋集成电路制造（绍兴）有限公司（以下简称 "芯联先锋"），为绍兴中芯集成电路制造股份有限公司（以下简称 "公司"）的控股子公司。 本次担保金额及 ...

证券代码：688469 证券简称：中芯集成 公告编号：2023-032 绍兴中芯集成电路制造股份有限公司 关于对外投资设立控股子公司暨关联交易的进展公告 本公司董事会及全体董事保证本公告内容不存在任何虚假记载、误导 性陈述或者重大遗漏，并对其内容的真实性、准确性和完整性依法承担法 律责任。 2、统一社会信用代码：91330602MAD1LP1515 3、企业类型：有限责任公司（外商投资企业与内资合资） 4、注册资本：人民币 50,000.00 万元 5、法定代表人：陆珏 6、成立日期：2023 年 10 月 23 日 一、已披露的对外投资暨关联交易概述 为配合绍兴中芯集成电路制造股份有限公司（以下简称"公司"）发 展战略及业务需要，推动公司产业垂直整合，实现公司的全产业链布局， 从而助力公司碳化硅（SiC）业务快速发展，取得领先优势，公司于 2023 年 8 月 25 日召开第一届董事会第十六次会议、第一届监事会第九次会议，审 议通过了《关于对外投资设立控股子公司暨关联交易的议案》，拟设立合 资公司运营碳化硅（SiC）业务项目。合资公司注册资本人民币 50,000.00 万元，公司使用自有资金出资人民币 25 ...

证券代码： 688469 证券简称：中芯集成 公告编号：2023-031 绍兴中芯集成电路制造股份有限公司 关于第一期股票期权激励计划第一个行权期 一、本次股票期权行权的决策程序及相关信息披露 绍兴中芯集成电路制造股份有限公司（以下简称"公司"）于 2021 年 9 月 制定并实施《绍兴中芯集成电路制造股份有限公司第一期股票期权激励计划》， 合计向 568 名激励对象授予 6800 万份股票期权，行权价格为 2.78 元/股。 1、2021 年 9 月 13 日，公司召开第一届董事会第三次会议并形成董事会决 议，审议通过了《关于公司第一期股票期权激励计划的议案》等与本次激励计划 相关的议案。同日，公司召开第一届监事会第三次会议并形成监事会决议，审议 通过了《关于核实公司第一期股票期权激励计划名单的议案》等与本次激励计划 相关的议案。 2、2021 年 9 月 28 日，公司召开了 2021 年度第二次临时股东大会并形成股 东大会决议，审议通过了《关于公司第一期股票期权激励计划的议案》等与本次 激励计划相关的议案，公司于同日完成了股票期权的授予（本次激励计划不设预 留权益），实际授予激励对象为 568 名公司员 ...

海通证券股份有限公司 关于绍兴中芯集成电路制造股份有限公司 2023 年度持续督导半年度跟踪报告 | 保荐机构名称：海通证券股份有限公司 | 被保荐公司简称：中芯集成 | | --- | --- | | 保荐代表人姓名：徐亦潇 宋轩宇 | 被保荐公司代码：688469 | 重大事项提示 2023 年 1-6 月，中芯集成归属于上市公司股东的扣除非经常性损益的净利 润为-124,779.72 万元，仍为负值。 报告期内，由于公司生产线建设及扩产过程中，在短期内面临较高的折旧压 力，且公司为了进一步扩大市场规模、提升产品的竞争力，大量投入新项目研发， 研发投入占收入比例上升，使得公司报告期内扣除非经常性损益后归属于母公 司股东的净利润为负，公司生产经营正常，不存在重大风险。 经中国证券监督管理委员会《关于同意绍兴中芯集成电路制造股份有限公司 首次公开发行股票注册的批复》（证监许可[2023]548 号）批复，绍兴中芯集成 电路制造股份有限公司（以下简称"上市公司"、"公司"或"发行人"）首次 公开发行 A 股 194,580.00 万股（超额配售选择权全额行使），每股面值人民币 1 元，每股发行价格人民币 5.6 ...

Financial Performance - The company reported a revenue of RMB 1.5 billion for the first half of 2023, representing a year-over-year increase of 20%[1]. - The company's revenue for the first half of 2023 reached CNY 2,519,890,395.68, representing a 24.09% increase compared to CNY 2,030,631,364.75 in the same period last year[14]. - The net profit attributable to shareholders was a loss of CNY 1,108,573,595.43, worsening from a loss of CNY 572,768,212.61 year-on-year[14]. - The net cash flow from operating activities increased by 74.96% to CNY 961,664,308.91, up from CNY 549,660,221.44 in the previous year[14]. - The company's total assets grew by 42.05% to CNY 36,733,346,056.01, compared to CNY 25,859,557,900.82 at the end of the previous year[14]. - The net assets attributable to shareholders surged by 284.26% to CNY 13,232,854,653.27, up from CNY 3,443,763,923.46[14]. - The basic earnings per share decreased to -0.21 CNY, compared to -0.11 CNY in the same period last year, marking an 83.42% decline[15]. - The company reported a significant increase in main business revenue, with a year-on-year growth of 60.75%, excluding non-main business income[16]. - The company achieved operating revenue of CNY 2,519,890,395.68, a year-on-year increase of 24.09%[63]. - Main business revenue reached CNY 2,481,925,100, a significant growth of 60.75% compared to the same period last year[62]. Research and Development - The company has invested RMB 200 million in R&D for advanced semiconductor technologies, aiming to reduce production costs by 15%[1]. - The R&D expenditure as a percentage of revenue increased to 25.79%, up from 18.78% in the previous year, reflecting a focus on expanding market scale and enhancing product competitiveness[15][16]. - The company achieved a significant increase in R&D investment, with a total of ¥649,904,872.93 in the first half of 2023, representing a 70.44% increase compared to ¥381,304,272.80 in the same period last year[34]. - The company added 51 new patents during the reporting period, including 15 invention patents and 34 utility model patents, bringing the total number of patents to 246[33]. - The number of R&D personnel has increased to 570, representing 13.72% of the total workforce, up from 11.27% in the previous year[41]. - The total compensation for R&D personnel reached ¥18,574.37 million, an increase from ¥14,116.57 million in the previous year[41]. Market Expansion and Strategy - The company is expanding its market presence in Southeast Asia, targeting a 30% increase in market share by the end of 2024[1]. - A strategic acquisition of a local semiconductor firm was completed, expected to contribute an additional RMB 300 million in annual revenue[1]. - The company is positioned to leverage opportunities in the domestic semiconductor market driven by supportive national policies and the push for domestic substitution[21]. - The company is focusing on optimizing its product mix to meet the demand for higher-margin products in the new energy vehicle and photovoltaic storage sectors[56]. - The company has established a comprehensive production operation system, adopting a "sales-driven production" model to align production plans with market demand and supply conditions[26]. Environmental and Social Responsibility - The company has invested CNY 4,606.58 million in environmental protection during the reporting period[82]. - The company has installed a clean energy photovoltaic system with a capacity of 678.5 kW·P, reducing carbon emissions by 256 tons, and implemented 98 carbon reduction technologies, leading to a reduction of 4,071 tons[92]. - The company has developed an emergency response plan for environmental incidents, conducting regular training and drills to minimize impacts[87]. - The company actively participates in social responsibility initiatives, contributing 150,000 yuan to local poverty alleviation efforts[94]. - The company has established ISO management systems, including ISO 9001 and ISO 14001, to enhance environmental management practices[91]. Corporate Governance and Compliance - No significant changes in corporate governance or related party transactions were reported during this period[1]. - The company has committed to not engaging in any business that competes with its main operations in MEMS, IGBT, and MOSFET, ensuring no direct or indirect competition exists[99]. - Shareholders holding more than 5% of the company's shares have pledged to minimize related party transactions and ensure they do not harm the interests of the company or other shareholders[101]. - The company has established long-term commitments regarding stock repurchase measures to stabilize share prices[97]. - The company has committed to transparency and will accept supervision from regulatory bodies regarding share management[107]. Financial Position and Liabilities - The company's total liabilities amounted to approximately ¥19.49 billion, compared to ¥18.75 billion, reflecting an increase of about 3.9%[182]. - Long-term borrowings decreased to approximately ¥8.25 billion from ¥9.58 billion, a reduction of about 13.9%[182]. - The company's total liabilities and equity at the end of the first half of 2023 were approximately 10.14 billion RMB[198]. - The total amount of guarantees provided by the company, including those to subsidiaries, is 79,569.85 million yuan, which accounts for 4.61% of the company's net assets[143]. Shareholder Information - The total number of ordinary shareholders reached 262,312 by the end of the reporting period[168]. - The top shareholder, Shaoxing Yuecheng Integrated Circuit Industry Fund, holds 1,152,000,000 shares, representing 16.41% of the total shares[170]. - The company has a lock-up period of 12 months for its strategic placement shares[166]. - The company has issued a total of 100,193,321 shares under the employee participation plan for the strategic placement[166]. - The company reported a total of 1,152,000,000 restricted shares held by Shaoxing Yuecheng Integrated Circuit Industry Fund Partnership, which can be traded starting from May 11, 2026[173].